Help

The materials on this page cover all U.S. Federal banking regulation, statutes and interpretations. See also the Volcker Rule page. See also the bottom of this page for other closely related subjects. Selected Dodd-Frank Issues Changes to the Regulation of Banks, Thrifts, and Holding Companies ...

This page provides key reference resources and analysis on the SEC guidance related to the requirement that issuers disclose the use of conflict minerals in their products. Cadwalader Analysis A Guide to Conflict Minerals by Karen E. Woody Cadwalader Business Fraud Alert: SEC Issues Guidance on ...

This page provides access to materials related to the Foreign Account Tax Compliance Act (FATCA) and other tax reporting and compliance issues. At the bottom of this page is a list of other potentially relevant topic pages. Cadwalader Books & Analysis Cadwalader's Guide to FATCA FATCA ...

This page is intended to provide guidance to legal and compliance executives in the management of bribery and other international compliance risks. At the bottom of this page is a list of other potentially relevant topic pages. Memos and Analysis The FCPA Blog, Practice Alert: Implicit warnings in ...

This page provides resources to help firms understand and stay compliant with U.S. sanctions programs, including requirements of the Office of Foreign Assets Control (OFAC) and sanctions programs in countries such as Iran, Russia, Cuba and North Korea. See also the bottom of this page for other ...

This page is a resource for various NASAA model statutes and rules relevant to the financial industry, as well for some of the principal New York State laws including those applicable to the securities markets, the NY Uniform Commercial Code, and the NY virtual currencies regulation. See also the ...

This page describes the margin requirements of the Board of Governors of the Federal Reserve System under Regulation T (applicable to broker-dealers), Regulation U (applicable to other lenders on securities collateral) and Regulation X (applicable to borrowers). It also covers the additional ...

This page is focused on the terms of the Master Securities Forward Agreement and TBA Transactions and the principal regulatory issues that such agreements raise. Separate pages are focused on Securities Lending Agreements and on Repurchase Agreements. See also the bottom of this page for other ...

Our materials assist legal, compliance, and risk management professionals in navigating the constant, and constantly evolving, risks relating to cybersecurity and data privacy, including understanding the U.S. and international regulatory framework and enforcement trends and developing and ...

This page provides information on the capital proposals of the CFTC and the SEC applicable to swap-dealers and security-based swap dealers. On the Find section of this page, there are the actual rule proposals as well as the accompanying releases. On the Know section of this page, there is analysis ...

This topic page provides guidance as to the regulations governing the payment and use of soft dollars by broker-dealers and investment advisers. Advisers Guide to Best Execution and Soft Dollars Broker-Dealer Guide Trading Execution Obligations to Customers Soft Dollars, Payment for Order Flow, and ...

This page is focused on the terms of Repurchase Agreements and the principal regulatory issues that such agreements raise. See also Securities Lending Agreements and Master Securities Forward Agreement and TBA Transactions. See also the bottom of this page for other closely related subjects. ...

This page is focused on the terms of Securities Lending Agreements and the principal regulatory issues that such agreements raise for broker-dealers and banks. Separate pages are focused on Repurchase Agreements and on the Master Securities Forward Agreement and TBA Transactions. See also the ...

This page provides access to the New York UCC and the Hague Convention. See also the page Bankruptcy and Insolvency Materials. At the bottom of this page is a list of other potentially relevant pages. UCC Primer The 2010 Amendments to Article 9 Cadwalader Bankruptcy Memoranda UCC 2010 Changes The ...

This page concerns the process by which entities may become registered as a commodity pool operator (" CPO ") or a commodity trading advisor (" CTA "). Much of the material on this page concerns the process by which individuals must become registered as part of the entity ...

This page provides materials as to the obligation that broker-dealers and FCMs have to file "risk assessment reports" as to their "material associated persons." The reports are intended to enable the regulators to determine whether the broker-dealer or FCM will be at risk in the ...

The Committee on Foreign Investment in the United States (" CFIUS ") is authorized to review "any transaction that is proposed, by or with any foreign person, which could result in control of a U.S. business by a foreign person." The purpose of the reviews conducted by CFIUS is ...

This page deals with the issue of whether an entity may be required to register as a commodity pool operator (" CPO ") or a commodity trading advisor (" CTA "). For each case, that will first depend upon whether the entity fits within the statutory or regulatory definition of ...